microcap fraud

Attorneys Charged in $6M Microcap Fraud
Risk & Compliance

Attorneys Charged in $6M Microcap Fraud

The SEC says the lawyers played a "crucial role" in passing off at least 22 shell companies as legitimate startups.
By Matthew Heller | October 12, 2017
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Audit Firms to Pay $318K Over Microcap Fraud
Risk & Compliance

Audit Firms to Pay $318K Over Microcap Fraud

De Joya Griffith and M&K CPAS were accused of defectively auditing the financial statements of purported mining companies.
By Matthew Heller | September 21, 2015
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Three Charged With Medical Firm ‘Pump-and-Dump’
Risk & Compliance

Three Charged With Medical Firm ‘Pump-and-Dump’

The microcap markets are of increasing concern to regulators, says the U.S. Attorney's Office.
By Matthew Heller | September 15, 2015
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